An Introduction to Statistical

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 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

A N I N T R O D U C T I O N T O S TAT I S T I C A L M E C H A N I C S
A N D T H E R M O DY N A M I C S
OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

An Introduction to Statistical Mechanics

and Thermodynamics
Second Edition

Robert H. Swendsen

1
OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

3
Great Clarendon Street, Oxford, OX2 6DP,
United Kingdom
Oxford University Press is a department of the University of Oxford.
It furthers the University’s objective of excellence in research, scholarship,
and education by publishing worldwide. Oxford is a registered trade mark of
Oxford University Press in the UK and in certain other countries
© Robert H. Swendsen 2020
The moral rights of the author have been asserted
First Edition published in 2012
Second Edition published in 2020
Impression: 1
All rights reserved. No part of this publication may be reproduced, stored in
a retrieval system, or transmitted, in any form or by any means, without the
prior permission in writing of Oxford University Press, or as expressly permitted
by law, by licence or under terms agreed with the appropriate reprographics
rights organization. Enquiries concerning reproduction outside the scope of the
above should be sent to the Rights Department, Oxford University Press, at the
address above
You must not circulate this work in any other form
and you must impose this same condition on any acquirer
Published in the United States of America by Oxford University Press
198 Madison Avenue, New York, NY 10016, United States of America
British Library Cataloguing in Publication Data
Data available
Library of Congress Control Number: 2019945687
ISBN 978–0–19–885323–7
DOI: 10.1093/oso/9780198853237.001.0001
Printed and bound by
CPI Group (UK) Ltd, Croydon, CR0 4YY
Links to third party websites are provided by Oxford in good faith and
for information only. Oxford disclaims any responsibility for the materials
contained in any third party website referenced in this work.
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

To the memory of Herbert B. Callen, physicist and mentor,

and to my wife, Roberta L. Klatzky,
without whom this book could never have been written.
OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

Preface to the Second Edition

In preparing to write the preface to the second edition of this book, I realized anew my
debt to the work of Herbert B. Callen. He was not only my thesis advisor and my friend,
but it was through his teaching and his book on thermodynamics that I first understood
the subject in any depth. I take this opportunity once again to acknowledge how much
his pedagogy and advice have meant to my work.
The postulational approach to thermodynamics, which is primarily based on his work
and that of his thesis advisor, László Tisza, provides a clear basis for the theory. It is not
difficult to understand but can seem rather abstract when first encountered as a student –
as, indeed, it did to me many years ago. Many professors have told me that they thought
that Callen’s book was too daunting to give to their students, but that it was the book that
they consulted for thermodynamics.
Part I of my book originated as an introduction to Callen’s Thermodynamics in my
teaching. One difficulty that I had found as a student was that Callen’s book started
off presenting entropy and the postulates of thermodynamics in the first chapter, and
temperature as a partial derivative of the entropy in the second chapter. I had only a
vague idea at the time of what the entropy was, and its partial derivative with respect to
energy was a complete mystery. I have tried to avoid this difficulty in my own teaching of
thermodynamics by presenting the students with an explicit calculation of the entropy of
a classical ideal gas. All assumptions are stated, and all mathematics is explained. I felt –
and my students generally agreed – that they were then ready to understand Callen’s
postulates.
Part II developed from my notes for teaching from Callen’s textbook. I found that
while the ideas in Callen’s postulates provided a great foundation for thermodynamics,
their specific form was less than ideal. For the first edition of this book, I separated them
into six new postulates, each of which expressed a separate idea. I also generalized the
postulates to include non-homogeneous systems.
I gave an explicit guide to the use of Jacobians in deriving thermodynamic identities,
which I have not found anywhere else, but which my students have found to be easy to
apply. Callen mentioned Jacobians in his first edition, but not in his second. Similarly,
I simplified the derivation of Maxwell relations, with the result that my students have
regarded them (correctly) as being easy to derive.
I also gave an explicit derivation of the stability criteria for second partial derivatives
with respect to intensive variables because many students had difficulty with them.
Parts III (classical statistical mechanics) and IV (quantum statistical mechanics) used
computer calculations extensively. They allowed many calculations to be carried out
explicitly. I firmly believe that the future of physics will rely heavily on the computer,
and I think that computation is currently being neglected in university curricula.
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

viii Preface to the Second Edition

The second edition has come into being because I have discovered how to clarify the
presentation of many of the central concepts, especially in the derivation of the entropy
in Part 1. Along the way, I have corrected a significant number of typographical errors.
In Part I, Chapters 4 and 6, I have more clearly distinguished generic variables
from variables describing particular systems used in derivations. My previous labeling
convention did not cause any problems in the classes I taught, but it has caused confusion
with some readers. I have also generalized the derivation of the entropy from treating only
two systems at a time to deriving the entropy simultaneously for all systems that might
interact.
In the second edition, I have again changed the list of postulates to include the
possibility of negative temperatures. Callen had mentioned negative temperatures in his
book, but had excluded them in the interest of simplicity.
In Chapter 11, I have expanded the review of the Carnot cycle with two new
illustrations. This chapter now also contains a discussion of negative temperatures, and
how they affect the analysis of heat engines.
Massieu functions were mentioned by Callen, but not developed. I did the same in
the first edition. I have expanded the treatment of Massieu functions in Chapter 12,
after realizing that they are much more useful than I had previously thought. They are
essential when considering negative temperatures because the corresponding entropy is
not monotonic.
The discussion of the Nernst Postulate (Third Law of Thermodynamics) in
Chapter 18 includes a discussion of why zero temperature would not be possible to
attain if classical mechanics were valid instead of quantum mechanics. In fact, it would
be more difficult to attain very low temperatures if the Nernst Postulate were not valid.
A new chapter (Chapter 21) has been added to discuss the consequences of including
the widths of the energy and particle-number distributions in the calculation of the
entropy. It is both a more realistic assumption and gives better expressions for the entropy.
These results are based on new work since the publication of the first edition of this book.
In Chapters 28 on Bose-Einstein statistics and 29 on Fermi-Dirac statistics, I’ve
introduced numerical calculations based on work with a former student, Tyson Price.
The numerical results show many of the thermal properties of Bose and Fermi gases
more clearly and simply than would be possible with analytic calculations alone.
The Index has been thoroughly updated and expanded.
My recommendations for a programming language to use for the computational
problems have changed. I still advocate the use of Python, although not VPython. I have
found that plots using MatPlotLib are much better, as well as being easier for students
(and professors) to program. On the other hand, I have found that students prefer the
freedom to use a wide variety of programming languages, and I have never insisted that
they use Python.
I would like to thank my colleagues, Markus Deserno and Michael Widom, for their
helpful comments based on their own experiences from using my book to teach both
undergraduate and graduate courses in thermal physics.
I would also like to thank my former students, William Griffin, Lachlan Lancaster,
and Michael Matty, for their contributions to some of the results presented here. I would
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

Preface to the Second Edition ix

especially like to thank Michael Matty for his extensive constructive criticism of the text
and his contributions to my class. Finally, I would like to thank Karpur Shukla for many
useful conversations.
As in the first preface, I would like to thank my wife, Roberta L. Klatzky, for her
unwavering support.

Robert H. Swendsen
Pittsburgh, April 2019
OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

Preface to the First Edition

Habe Muth dich deines eigenen Verstandes zu bedienen.

(Have the courage to think for yourself.)

Immanuel Kant, in Beantwortung der Frage: Was ist Aufklärung?

The disciplines of statistical mechanics and thermodynamics are very closely related,
although their historical roots are separate. The founders of thermodynamics developed
their theories without the advantage of contemporary understanding of the atomic
structure of matter. Statistical mechanics, which is built on this understanding, makes
predictions of system behavior that lead to thermodynamic rules. In other words,
statistical mechanics is a conceptual precursor to thermodynamics, although it is a
historical latecomer.
Unfortunately, despite their theoretical connection, statistical mechanics and thermo-
dynamics are often taught as separate fields of study. Even worse, thermodynamics is
usually taught first, for the dubious reason that it is older than statistical mechanics. All
too often the result is that students regard thermodynamics as a set of highly abstract
mathematical relationships, the significance of which is not clear.
This book is an effort to rectify the situation. It presents the two complementary
aspects of thermal physics as a coherent theory of the properties of matter. My intention
is that after working through this text a student will have solid foundations in both
statistical mechanics and thermodynamics that will provide direct access to modern
research.

Guiding Principles
In writing this book I have been guided by a number of principles, only some of which
are shared by other textbooks in statistical mechanics and thermodynamics.

• I have written this book for students, not professors. Many things that experts might
take for granted are explained explicitly. Indeed, student contributions have been
essential in constructing clear explanations that do not leave out ‘obvious’ steps that
can be puzzling to someone new to this material.
• The goal of the book is to provide the student with conceptual understanding, and
the problems are designed in the service of this goal. They are quite challenging,
but the challenges are primarily conceptual rather than algebraic or computational.
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

xii Preface to the First Edition

• I believe that students should have the opportunity to program models themselves
and observe how the models behave under different conditions. Therefore, the
problems include extensive use of computation.
• The book is intended to be accessible to students at different levels of preparation.
I do not make a distinction between teaching the material at the advanced under-
graduate and graduate levels, and indeed, I have taught such a course many times
using the same approach and much of the same material for both groups. As the
mathematics is entirely self-contained, students can master all of the material even
if their mathematical preparation has some gaps. Graduate students with previous
courses on these topics should be able to use the book with self-study to make up
for any gaps in their training.
• After working through this text, a student should be well prepared to continue with
more specialized topics in thermodynamics, statistical mechanics, and condensed-
matter physics.

Pedagogical Principles
The over-arching goals described above result in some unique features of my approach
to the teaching of statistical mechanics and thermodynamics, which I think merit specific
mention.

Teaching Statistical Mechanics

• The book begins with classical statistical mechanics to postpone the complications
of quantum measurement until the basic ideas are established.
• I have defined ensembles in terms of probabilities, in keeping with Boltzmann’s
vision. In particular, the discussion of statistical mechanics is based on Boltzmann’s
1877 definition of entropy. This is not the definition usually found in textbooks, but
what he actually wrote. The use of Boltzmann’s definition is one of the key features
of the book that enables students to obtain a deep understanding of the foundations
of both statistical mechanics and thermodynamics.
• A self-contained discussion of probability theory is presented for both discrete and
continuous random variables, including all material needed to understand basic
statistical mechanics. This material would be superfluous if the physics curriculum
were to include a course in probability theory, but unfortunately, that is not usually
the case. (A course in statistics would also be very valuable for physics students—
but that is another story.)
• Dirac delta functions are used to formulate the theory of continuous random
variables, as well as to simplify the derivations of densities of states. This is not
the way mathematicians tend to introduce probability densities, but I believe that it
is by far the most useful approach for scientists.
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

Preface to the First Edition xiii

• Entropy is presented as a logical consequence of applying probability theory to

systems containing a large number of particles, instead of just an equation to be
memorized.
• The entropy of the classical ideal gas is derived in detail. This provides an
explicit example of an entropy function that exhibits all the properties postulated
in thermodynamics. The example is simple enough to give every detail of the
derivation of thermodynamic properties from statistical mechanics.
• The book includes an explanation of Gibbs’ paradox—which is not really paradox-
ical when you begin with Boltzmann’s 1877 definition of the entropy.
• The apparent contradiction between observed irreversibility and time-reversal-
invariant equations of motion is explained. I believe that this fills an important gap
in a student’s appreciation of how a description of macroscopic phenomena can
arise from statistical principles.

Teaching Thermodynamics
• The four fundamental postulates of thermodynamics proposed by Callen have been
reformulated. The result is a set of six thermodynamic postulates, sequenced so as
to build conceptual understanding.
• Jacobians are used to simplify the derivation of thermodynamic identities.
• The thermodynamic limit is discussed, but the validity of thermodynamics and
statistical mechanics does not rely on taking the limit of infinite size. This is
important if thermodynamics is to be applied to real systems, but is sometimes
neglected in textbooks.
• My treatment includes thermodynamics of non-extensive systems. This allows me
to include descriptions of systems with surfaces and systems enclosed in containers.

Organization and Content

The principles I have described above lead me to an organization for the book that
is quite different from what has become the norm. As was stated above, while most
texts on thermal physics begin with thermodynamics for historical reasons, I think it
is far preferable from the perspective of pedagogy to begin with statistical mechanics,
including an introduction to those parts of probability theory that are essential to
statistical mechanics.
To postpone the conceptual problems associated with quantum measurement, the
initial discussion of statistical mechanics in Part I is limited to classical systems. The
entropy of the classical ideal gas is derived in detail, with a clear justification for every step.
A crucial aspect of the explanation and derivation of the entropy is the use of Boltzmann’s
1877 definition, which relates entropy to the probability of a macroscopic state. This
definition provides a solid, intuitive understanding of what entropy is all about. It is my
experience that after students have seen the derivation of the entropy of the classical
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

xiv Preface to the First Edition

ideal gas, they immediately understand the postulates of thermodynamics, since those
postulates simply codify properties that they have derived explicitly for a special case.
The treatment of statistical mechanics paves the way to the development of thermody-
namics in Part II. While this development is largely based on the classic work by Herbert
Callen (who was my thesis advisor), there are significant differences. Perhaps the most
important is that I have relied entirely on Jacobians to derive thermodynamic identities.
Instead of regarding such derivations with dread—as I did when I first encountered
them—my students tend to regard them as straightforward and rather easy. There
are also several other changes in emphasis, such as a clarification of the postulates of
thermodynamics and the inclusion of non-extensive systems; that is, finite systems that
have surfaces or are enclosed in containers.
Part III returns to classical statistical mechanics and develops the general theory
directly, instead of using the common roundabout approach of taking the classical limit
of quantum statistical mechanics. A chapter is devoted to a discussion of the apparent
paradoxes between microscopic reversibility and macroscopic irreversibility.
Part IV presents quantum statistical mechanics. The development begins by consid-
ering a probability distribution over all quantum states, instead of the common ad hoc
restriction to eigenstates. In addition to the basic concepts, it covers black-body radiation,
the harmonic crystal, and both Bose and Fermi gases. Because of their practical and
theoretical importance, there is a separate chapter on insulators and semiconductors.
The final chapter introduces the Ising model of magnetic phase transitions.
The book contains about a hundred multi-part problems that should be considered as
part of the text. In keeping with the level of the text, the problems are fairly challenging,
and an effort has been made to avoid ‘plug and chug’ assignments. The challenges in the
problems are mainly due to the probing of essential concepts, rather than mathematical
complexities. A complete set of solutions to the problems is available from the publisher.
Several of the problems, especially in the chapters on probability, rely on computer
simulations to lead students to a deeper understanding. In the past I have suggested
that my students use the C++ programming language, but for the last two years I have
switched to VPython for its simplicity and the ease with which it generates graphs. An
introduction to the basic features of VPython is given in in Appendix A. Most of my
students have used VPython, but a significant fraction have chosen to use a different
language—usually Java, C, or C++. I have not encountered any difficulties with allowing
students to use the programming language of their choice.

Two Semesters or One?

The presentation of the material in this book is based primarily on a two-semester
undergraduate course in thermal physics that I have taught several times at Carnegie
Mellon University. Since two-semester undergraduate courses in thermal physics are
rather unusual, its existence at Carnegie Mellon for several decades might be regarded
as surprising. In my opinion, it should be the norm. Although it was quite reasonable
to teach two semesters of classical mechanics and one semester of thermodynamics to
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

Preface to the First Edition xv

undergraduates in the nineteenth century—the development of statistical mechanics was

just beginning—it is not reasonable in the twenty-first century.
However, even at Carnegie Mellon only the first semester of thermal physics is
required. All physics majors take the first semester, and about half continue on to the
second semester, accompanied by a few students from other departments. When I
teach the course, the first semester covers the first two parts of the book (Chapters 1
through 18), plus an overview of classical canonical ensembles (Chapter 18) and
quantum canonical ensembles (Chapter 22). This gives the students an introduction
to statistical mechanics and a rather thorough knowledge of thermodynamics, even if
they do not take the second semester.
It is also possible to teach a one-semester course in thermal physics from this book
using different choices of material. For example:

• If the students have a strong background in probability theory (which is, unfortu-
nately, fairly rare), Chapters 3 and 5 might be skipped to include more material in
Parts III and IV.
• If it is decided that students need a broader exposure to statistical mechanics, but
that a less detailed study of thermodynamics is sufficient, Chapters 14 through 17
could be skimmed to have time to study selected chapters in Parts III and IV.
• If the students have already had a thermodynamics course (although I do not
recommend this course sequence), Part II could be skipped entirely. However, even
if this choice is made, students might still find Chapters 9 to 18 useful for review.

One possibility that I do not recommend would be to skip the computational material.
I am strongly of the opinion that the undergraduate physics curricula at most universities
still contain too little instruction in the computational methods that students will need in
their careers.

Acknowledgments
This book was originally intended as a resource for my students in Thermal Physics
I (33–341) and Thermal Physics II (33–342) at Carnegie Mellon University. In an
important sense, those students turned out to be essential collaborators in its production.
I would like to thank the many students from these courses for their great help in
suggesting improvements and correcting errors in the text. All of my students have
made important contributions. Even so, I would like to mention explicitly the following
students: Michael Alexovich, Dimitry Ayzenberg, Conroy Baltzell, Anthony Bartolotta,
Alexandra Beck, David Bemiller, Alonzo Benavides, Sarah Benjamin, John Briguglio,
Coleman Broaddus, Matt Buchovecky, Luke Ceurvorst, Jennifer Chu, Kunting Chua,
Charles Wesley Cowan, Charles de las Casas, Matthew Daily, Brent Driscoll, Luke
Durback, Alexander Edelman, Benjamin Ellison, Danielle Fisher, Emily Gehrels, Yelena
Goryunova, Benjamin Greer, Nils Guillermin, Asad Hasan, Aaron Henley, Maxwell
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

xvi Preface to the First Edition

Hutchinson, Andrew Johnson, Agnieszka Kalinowski, Patrick Kane, Kamran Karimi,

Joshua Keller, Deena Kim, Andrew Kojzar, Rebecca Krall, Vikram Kulkarni, Avishek
Kumar, Anastasia Kurnikova, Thomas Lambert, Grant Lee, Robert Lee, Jonathan Long,
Sean Lubner, Alan Ludin, Florence Lui, Christopher Magnollay, Alex Marakov, Natalie
Mark, James McGee, Andrew McKinnie, Jonathan Michel, Corey Montella, Javier
Novales, Kenji Oman, Justin Perry, Stephen Poniatowicz, Thomas Prag, Alisa Rachubo,
Mohit Raghunathan, Peter Ralli, Anthony Rice, Svetlana Romanova, Ariel Rosenburg,
Matthew Rowe, Kaitlyn Schwalje, Omar Shams, Gabriella Shepard, Karpur Shukla,
Stephen Sigda, Michael Simms, Nicholas Steele, Charles Swanson, Shaun Swanson,
Brian Tabata, Likun Tan, Joshua Tepper, Kevin Tian, Eric Turner, Joseph Vukovich,
Joshua Watzman, Andrew Wesson, Justin Winokur, Nanfei Yan, Andrew Yeager, Brian
Zakrzewski, and Yuriy Zubovski. Some of these students made particularly important
contributions, for which I have thanked them personally. My students’ encouragement
and suggestions have been essential in writing this book.
Yutaro Iiyama and Marilia Cabral Do Rego Barros have both assisted with the grading
of Thermal Physics courses, and have made very valuable corrections and suggestions.
The last stages in finishing the manuscript were accomplished while I was a guest at
the Institute of Statistical and Biological Physics at the Ludwig-Maximilians-Universität,
Munich, Germany. I would like to thank Prof. Dr. Erwin Frey and the other members of
the Institute for their gracious hospitality.
Throughout this project, the support and encouragement of my friends and colleagues
Harvey Gould and Jan Tobochnik have been greatly appreciated.
I would also like to thank my good friend Lawrence Erlbaum, whose advice and
support have made an enormous difference in navigating the process of publishing a
book.
Finally, I would like to thank my wife, Roberta (Bobby) Klatzky, whose contributions
are beyond count. I could not have written this book without her loving encouragement,
sage advice, and relentless honesty.
My thesis advisor, Herbert Callen, first taught me that statistical mechanics and
thermodynamics are fascinating subjects. I hope you come to enjoy them as much as
I do.

Robert H. Swendsen
Pittsburgh, January 2011
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

Contents

1 Introduction 1
1.1 Thermal Physics 1
1.2 What are the Questions? 2
1.3 History 2
1.4 Basic Concepts and Assumptions 4
1.5 Plan of the Book 6

Part I Entropy
2 The Classical Ideal Gas 11
2.1 Ideal Gas 11
2.2 Phase Space of a Classical Gas 12
2.3 Distinguishability 13
2.4 Probability Theory 13
2.5 Boltzmann’s Definition of the Entropy 14
2.6 S = k log W 14
2.7 Independence of Positions and Momenta 15
2.8 Road Map for Part I 15
3 Discrete Probability Theory 16
3.1 What is Probability? 16
3.2 Discrete Random Variables and Probabilities 18
3.3 Probability Theory for Multiple Random Variables 19
3.4 Random Numbers and Functions of Random Variables 21
3.5 Mean, Variance, and Standard Deviation 24
3.6 Correlation Function 25
3.7 Sets of Independent Random Numbers 25
3.8 Binomial Distribution 27
3.9 Gaussian Approximation to the Binomial Distribution 29
3.10 A Digression on Gaussian Integrals 30
3.11 Stirling’s Approximation for N! 31
3.12 Binomial Distribution with Stirling’s Approximation 34
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

xviii Contents

3.13 Multinomial Distribution 35

3.14 Problems 36
4 The Classical Ideal Gas: Configurational Entropy 43
4.1 Separation of Entropy into Two Parts 43
4.2 Probability Distribution of Particles 44
4.3 Distribution of Particles between Two Isolated Systems that were
Previously in Equilibrium 45
4.4 Consequences of the Binomial Distribution 46
4.5 Actual Number versus Average Number 47
4.6 The ‘Thermodynamic Limit’ 48
4.7 Probability and Entropy 48
4.8 The Generalization to M ≥ 2 Systems 51
4.9 An Analytic Approximation for the Configurational Entropy 52
4.10 Problems 53
5 Continuous Random Numbers 54
5.1 Continuous Dice and Probability Densities 54
5.2 Probability Densities 55
5.3 Dirac Delta Functions 57
5.4 Transformations of Continuous Random Variables 61
5.5 Bayes’ Theorem 63
5.6 Problems 65
6 The Classical Ideal Gas: Energy Dependence of Entropy 70
6.1 Distribution for the Energy between Two Subsystems 70
6.2 Evaluation of p 72
6.3 Distribution of Energy between Two Isolated Subsystems that were
Previously in Equilibrium 75
6.4 Probability Distribution for Large N 76
6.5 The Logarithm of the Probability Distribution and the
Energy-Dependent Terms in the Entropy 78
6.6 The Generalization to M ≥ 2 systems 79
7 Classical Gases: Ideal and Otherwise 81
7.1 Entropy of a Composite System of Classical Ideal Gases 81
7.2 Equilibrium Conditions for the Ideal Gas 82
7.3 The Volume-Dependence of the Entropy 85
7.4 Asymmetric Pistons 87
7.5 Indistinguishable Particles 87
7.6 Entropy of a Composite System of Interacting Particles 89
7.7 The Second Law of Thermodynamics 95
 OUP CORRECTED PROOF – FINAL, 7/11/2019, SPi

Contents xix

7.8 Equilibrium between Subsystems 95

7.9 The Zeroth Law of Thermodynamics 97
7.10 Problems 97
8 Temperature, Pressure, Chemical Potential, and All That 99
8.1 Thermal Equilibrium 99
8.2 What do we Mean by ‘Temperature’? 100
8.3 Derivation of the Ideal Gas Law 101
8.4 Temperature Scales 105
8.5 The Pressure and the Entropy 106
8.6 The Temperature and the Entropy 106
8.7 Equilibrium with Asymmetric Pistons, Revisited 107
8.8 The Entropy and the Chemical Potential 108
8.9 The Fundamental Relation and Equations of State 109
8.10 The Differential Form of the Fundamental Relation 109
8.11 Thermometers and Pressure Gauges 110
8.12 Reservoirs 110
8.13 Problems 111

Part II Thermodynamics
9 The Postulates and Laws of Thermodynamics 115
9.1 Thermal Physics 115
9.2 Microscopic and Macroscopic States 117
9.3 Macroscopic Equilibrium States 117
9.4 State Functions 118
9.5 Properties and Descriptions 118
9.6 The Essential Postulates of Thermodynamics 118
9.7 Optional Postulates of Thermodynamics 120
9.8 The Laws of Thermodynamics 123
10 Perturbations of Thermodynamic State Functions 124
10.1 Small Changes in State Functions 124
10.2 Conservation of Energy 125
10.3 Mathematical Digression on Exact and Inexact Differentials 125
10.4 Conservation of Energy Revisited 128
10.5 An Equation to Remember 129
10.6 Problems 130
11 Thermodynamic Processes 132
11.1 Irreversible, Reversible, and Quasi-Static Processes 132
11.2 Heat Engines 133
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Title: Head-hunters, black, white, and brown

Author: Alfred C. Haddon

Release date: February 3, 2024 [eBook #72861]

Language: English

Original publication: London: Methuen & Co, 1901

Credits: Peter Becker and the Online Distributed Proofreading

Team at https://www.pgdp.net (This file was produced
from images generously made available by The
Internet Archive)

*** START OF THE PROJECT GUTENBERG EBOOK HEAD-

HUNTERS, BLACK, WHITE, AND BROWN ***
 HEAD-HUNTERS
BLACK, WHITE, AND BROWN

THE SCOTT-KELTIE FALLS, MOUNT DULIT, BARAM DISTRICT, SARAWAK

 HEAD-HUNTERS
BLACK, WHITE, AND BROWN

BY
ALFRED C. HADDON, Sc.D., F.R.S.
FELLOW OF CHRIST’S COLLEGE
AND UNIVERSITY LECTURER IN ETHNOLOGY, CAMBRIDGE

WITH THIRTY-TWO PLATES, FORTY ILLUSTRATIONS IN THE TEXT

AND SIX MAPS

METHUEN & CO.

36 ESSEX STREET W.C.
LONDON
1901
TO
MY WIFE
AND
TO THE MEMORY OF
MY MOTHER
WHO FIRST TAUGHT ME TO OBSERVE
I DEDICATE
THIS RECORD OF MY TRAVELS
 PREFACE
In 1888 I went to Torres Straits to study the coral reefs and marine
zoology of the district; whilst prosecuting these studies I naturally
came much into contact with the natives, and soon was greatly
interested in them. I had previously determined not to study the
natives, having been told that a good deal was known already about
them; but I was not long in discovering that much still remained to be
learned. Indeed, it might be truly said that practically nothing was
known of the customs and beliefs of the natives, even by those who
we had every reason to expect would have acquired that information.
Such being the case, I felt it to be my duty to gather what
information I could when not actually engaged in my zoological
investigations. I found, even then, that the opportunities of learning
about the pagan past of the natives were limited, and that it would
become increasingly more difficult, as the younger men knew
comparatively little of the former customs and beliefs, and the old
men were dying off.
On my return home I found that my inquiries into the ethnography
of the Torres Straits islanders were of some interest to
anthropologists, and I was encouraged to spend some time in writing
out my results. Gradually this has led me to devote myself to
anthropological studies, and, not unnaturally, one of my first projects
was to attempt a monograph on the Torres Straits Islanders. It was
soon apparent that my information was of too imperfect a nature to
make a satisfactory memoir, and therefore I delayed publishing until I
could go out again to collect further material.
In course of time I was in a position to organise an expedition for
this purpose, which, being mainly endowed from University funds,
had the honour of being closely associated with the University of
Cambridge. It was my good fortune to be able to secure the co-
operation of a staff of colleagues, each of whom had some special
qualification.
For a long time it had appeared to me that investigations in
experimental psychology in the field were necessary if we were ever
to gauge the mental and sensory capabilities of primitive peoples.
This expedition presented the requisite opportunity, and the
organisation of this department was left to Dr. W. H. R. Rivers, of St.
John’s College, the University lecturer in physiological and
experimental psychology. The co-operation of Dr. C. S. Myers, of
Caius College, had been secured early, and as he is a good
musician, he specialised more particularly in the study of the hearing
and music of the natives. Mr. W. McDougall, Fellow of St. John’s
College, also volunteered to assist in the experimental psychology
department of the expedition.
When the early arrangements were being made one of the first
duties was to secure the services of a linguist, and the obvious
person to turn to was Mr. Sidney H. Ray, who has long been a
recognised authority on Melanesian and Papuan languages.
Fortunately, he was able to join the expedition.
Mr. Anthony Wilkin, of King’s College, took the photographs for the
expedition, and he assisted me in making the physical
measurements and observations. He also investigated the
construction of the houses, land tenure, transference of property,
and other social data of various districts.
When this book was being brought out the sad news arrived in
England of the death by dysentery of my pupil, friend, and colleague
in Cairo on the 17th of May (1901), on his return home from a
second winter’s digging in Upper Egypt. Poor Wilkin! barely twenty-
four years of age, and with the promise of a brilliant career before
him. I invited him to accompany me while he was still an
undergraduate, having been struck by his personal and mental
qualities. He was a man of exceptional ability and of frank, pleasing
manner, and a thorough hater of humbug. Although he was originally
a classical scholar, Wilkin read for the History Tripos, but his
interests were wider than the academic course, and he paid some
attention to sociology, and was also interested in natural science. In
his early undergraduate days he published a brightly written book,
On the Nile with a Camera. Immediately after his first winter’s
digging in Egypt with Professor Flinders Petrie, he went with Mr. D.
Randall-Maciver to Algeria to study the problem of the supposed
relationship, actual or cultural, of the Berbers with the Ancient
Egyptians. An interesting exhibition of the objects then collected was
displayed at the Anthropological Institute in the summer (1900), and
later in the year Wilkin published a well-written and richly illustrated
popular account of their experiences, entitled, Among the Berbers of
Algeria. Quite recently the scientific results were published in a
sumptuously illustrated joint work entitled, Libyan Notes. Wilkin was
an enthusiastic traveller, and was projecting important schemes for
future work. There is little doubt that had he lived he would have
distinguished himself as a thoroughly trained field-ethnologist and
scientific explorer.
Finally, Mr. C. G. Seligmann volunteered to join the party. He paid
particular attention to native medicine and to the diseases of the
natives as well as to various economic plants and animals.
Such was the personnel of the expedition. Several preliminary
communications have been published by various members; but the
complete account of our investigations in Torres Straits is being
published by the Cambridge University Press in a series of special
memoirs. The observations made on the mainland of British New
Guinea and in Sarawak will be published in various journals as
opportunity offers.
The book I now offer to the public contains a general account of
our journeyings and of some of the sights we witnessed and facts
that we gleaned.
I would like to take this opportunity of expressing my thanks to my
comrades for all the assistance they have rendered me, both in the
field and at home. I venture to prophesy that when all the work of the
expedition is concluded my colleagues will be found to have
performed their part in a most praiseworthy manner.
 Our united thanks are due to many people, from H.H. the Rajah of
Sarawak down to the least important native who gave us information.
Wherever we went, collectively or individually, we were hospitably
received and assisted in our work. Experience and information were
freely offered us, and what success the expedition has attained must
be largely credited to these friends.
I cannot enumerate all who deserve recognition, but, taking them
in chronological order, the following rendered us noteworthy service.
The Queensland Government, through the Hon. T. J. Byrnes, then
Premier, sent us the following cordial welcome by telegraph on our
arrival at Thursday Island:—

“Permit me on behalf of Government to welcome you and

your party to Queensland and to express our sincere hope
that your expedition will meet with the success which it
deserves. We shall be glad if at any time we can afford any
assistance towards the object of the expedition or to its
individual members, and trust that you will not hesitate to
advise us if we can be of service to you. Have asked Mr.
Douglas to do anything in his power and to afford you any
information concerning the objects of your mission he may be
in a position to impart.”

The Hon. John Douglas, c.m.g., the Government Resident at

Thursday Island, not merely officially, but privately and of his
spontaneous good nature, afforded us every facility in his power.
Through his kind offices the Queensland Government made a
special grant of £100 towards the expenses of the expedition, and in
connection with this a very friendly telegram was sent by the late Sir
James R. Dickson, k.c.m.g., who was then the Home Secretary.
The Government of British New Guinea did what it could to further
our aims. Unfortunately, His Excellency Sir William Macgregor,
k.c.m.g., m.d., Sc.D., the then Lieutenant-Governor of the
Possession, was away on a tour of inspection during my visit to the
Central District; but he afterwards showed much kindness to
Seligmann. The Hon. A. Musgrave, of Port Moresby, was most
cordial and helpful, and we owe a great deal to him. The Hon. D.
Ballantine, the energetic Treasurer and Collector of Customs, proved
himself a very good friend and benefactor to the expedition. The
Hon. B. A. Hely, Resident Magistrate of the Western Division, helped
us on our way, and we are greatly indebted in many ways to Mr. A.
C. English, the Government Agent of the Rigo District.
All travellers to British New Guinea receive many benefits directly
and indirectly from the New Guinea Mission of the London
Missionary Society. Everywhere we went we were partakers of the
hospitality of the missionaries and South Sea teachers; the same
genuine friendliness and anxiety to help permeates the whole staff,
so much so that it seems invidious to mention names, but the great
assistance afforded us by the late Rev. James Chalmers deserves
special recognition, as does also the kindness of Dr. and Mrs.
Lawes. The Mission boats were also freely placed at our disposal as
far as the service of the Mission permitted; but for this liberality on
the part of Mr. Chalmers we should several times have been in an
awkward predicament. If any words of mine could induce any
practical assistance being given to the Mission I would feel most
gratified, for I sadly realise that our indebtedness to the Mission can
only be acknowledged adequately by proxy.
It is a sad duty to chronicle the irreparable loss which all those
who are connected with British New Guinea have undergone in the
tragic death of the devoted Tamate. Mrs. Chalmers died in the
autumn of 1900 under most distressing circumstances in the Mission
boat when on her way to Thursday Island. A few months later, when
endeavouring to make peace during a tribal war on the Aird River,
Chalmers crowned a life of hardship and self-sacrifice by martyrdom
in the cause of peace. A glorious end for a noble life. With him were
murdered twelve native Mission students and the Rev. O. Tomkins, a
young, intelligent, and enthusiastic missionary, from whom much
was expected.
Very pleasing is it to record the brotherly kindness that we
received at the hands of the Sacred Heart Mission. None of our party
belonged to their Communion, but from the Archbishop to the
lowliest Brother we received nothing but the friendliest treatment.
Nor would we omit our thanks to the good Sisters for the cheerful
way in which they undertook the increased cares of catering which
our presence necessitated. The insight which we gained into the
ethnography of the Mekeo District is solely due to the good offices of
the various members of the Sacred Heart Mission.
In the course of the following pages I often refer to Mr. John Bruce,
the Government Schoolmaster on Murray Island. It would be difficult
to exaggerate the influence he exerts for good by his instruction,
advice, and unostentatious example. His help and influence were
invaluable to us, and when our researches are finally published,
anthropologists will cordially admit how much their science owes to
“Jack Bruce.”
We found Mr. Cowling, of Mabuiag, very helpful, not only at the
time but subsequently, as he has since sent us much valuable
information, and he also deserves special thanks.
Our visit to Sarawak was due to a glowing invitation I received
from Mr. Charles Hose, the Resident of the Baram District. I have so
frequently referred in print and speech to his generosity and
erudition, that I need only add here that his University has conferred
on him the greatest honour it is in her power to bestow—the degree
of Doctor in Science honoris causa.
But it was Rajah Sir Charles Brooke’s interest in the expedition
that made many things possible, and to him we offer our hearty
thanks, both for facilities placed at our disposal and for the
expression of his good-will.
At Kuching we received great hospitality from the white residents.
Particular mention must be made of the Hon. C. A. Bampfylde,
Resident of Sarawak; on our arrival he was administrating the
country in the absence of the Rajah, who was in England; nor should
Dr. A. J. G. Barker, Principal Medical Officer of Sarawak, and Mr. R.
Shelford, the Curator of the Museum, be omitted.
Great kindness and hospitality were shown us by Mr. O. F.
Ricketts, Resident of the Limbang District. We had a most enjoyable
visit to his beautiful Residency, and he arranged for us all the details
of our journey up-river.
One fact through all our journeyings has continually struck me.
Travellers calmly and uninvitedly plant themselves on residents by
whom they are received with genuine kindness and hospitably
entertained with the best that can be offered. Experience,
information, and influence are cheerfully and ungrudgingly placed at
the disposal of the guests, who not unfrequently palm off, without
acknowledgment, on an unsuspecting public the facts that others
have gleaned.
The warm welcome that one receives is as refreshing to the spirit
as the shower-bath is to the body and daintily served food to the
appetite when one has been wandering in the wilds.
In order to render my descriptions of the places and people more
continuous I have practically ignored the exact order in which events
happened or journeys were made. For those who care about
chronology I append a bare statement of the location of the various
members of the expedition at various times. I have also not hesitated
to include certain of my experiences, or some of the information I
gained, during my first expedition to Torres Straits in 1888-9; but the
reader will always be able to discriminate between the two
occasions.

1898.
March 10th. Left London.
April 22nd. Arrived Thursday Island, where joined by Seligmann.
April 30th. Left Thursday Island.
May 6th. Arrived Murray Island.
May 23rd. Haddon, Ray, Wilkin, and Seligmann left for New
Guinea.
June 25th. Seligmann went to Rigo.
July 20th. Haddon, Ray, and Wilkin returned from New Guinea
to Murray Island.
August 24th. Myers and McDougall left Murray Island for Sarawak.
Sept. 8th. Haddon, Rivers, Ray, and Wilkin left Murray Island for
Kiwai.
Sept. 12th. Seligmann arrived at Saguane.
Sept. 15th. Haddon, Rivers, Wilkin, Seligmann left Saguane for
Mabuiag.
Sept. 17th. Arrived Mabuiag.
Oct. 3rd. Ray came from Saguane.
Oct. 19th. Rivers left to return home.
Oct. 21st. Wilkin left to return home.
Oct. 22nd. Haddon, Ray, Seligmann left for Saibai, etc.
Nov. 15th. Left Thursday Island.
Nov. 28th. Arrived Hongkong.
Dec. 3rd. Left Hongkong.
Dec. 9th. Arrived Singapore.
Dec. 10th. Left Singapore.
Dec. 12th. Arrived Kuching.
1899.
Jan. 4th. Left Kuching for Baram.
Jan. 8th. Arrived Limbang.
Jan. 16th. Left Limbang.
Jan. 28th. Arrived Marudi (Claudetown).
April 20th. Left Marudi.
April 25th. Left Kuching.
May 31st. Arrived in London.

The following is the system of spelling which has been adopted in

this book:—

a as in “father.”
ă as in “at.”
e as a in “date.”
ĕ as in “debt.”
i as ee in “feet.”
 ĭ as in “it.”
o as in “own.”
ŏ as in “on.”
ö as German ö in “schön.”
ò as aw in “law.”
u as oo in “soon.”
ŭ as in “up.”
ai as in “aisle.”
au as ow in “cow.”

The consonants are sounded as in English.

ng as in “sing.”
ngg as in “finger.”
 CONTENTS

PART I

CHAPTER I
THURSDAY ISLAND TO MURRAY ISLAND
Port Kennedy, Thursday Island—l’assage in the
Freya to Murray Island—Darnley Island—
Arrival at Murray Island—Reception by the
natives Page 1-10
CHAPTER II
THE MURRAY ISLANDS
Geographical features of the islands of Torres
Straits—Geology of the Murray Islands—
Climate—The Murray Islanders—Physical and
other characteristics—Form of Government Page 11-21
CHAPTER III
WORK AND PLAY IN MURRAY ISLAND
The Expedition Dispensary—Investigations in
Experimental Psychology: visual acuity, colour
vision, mirror writing, estimation of time, acuity
of hearing, sense of smell and taste,
sensitiveness to pain—The Miriam language—
Methods of acquiring information—Rain-making
—Native amusements—Lantern exhibition—
String puzzles—Top-spinning—Feast—Copper
Maori Page 22-41
CHAPTER IV
THE MALU CEREMONIES
Initiation ceremonies—Secret societies—Visit to Las Page 42-52
—Representation of the Malu ceremonies—
Models of the old masks—The ceremonies as
formerly carried out—“Devil belong Malu”
CHAPTER V.
ZOGOS
The Murray Island oracle, Tomog Zogo—The village
of Las—Tamar—The war-dance at Ziriam Zogo
—Zabarker—Wind-raising—Teaching
Geography at Dam—Tamar again—A Miriam
“play”—How Pepker made a hill—Iriam Moris,
the fat man—Zogo of the girl of the south-west
—Photographing zogos—The coconut zogo—A
turtle zogo—The big women who dance at night
—The Waiad ceremony Page 53-70
CHAPTER VI
VARIOUS INCIDENTS IN MURRAY ISLAND
Our “boys” in Murray Island—“Gi, he gammon”—
Character of some of our native friends—Ulai—
Rivalry between Debe Wali and Jimmy Rice—
Our Royal Guests—The Papuan method of
smoking—A domestic quarrel—Debe and
Jimmy fall out—An earthquake—Cause of a
hurricane—The world saved from a comet by
three weeks of prayer—an unaccounted-for
windstorm—New Guinea magic—“A woman of
Samaria”—Jimmy Rice in prison—A yam zogo
—Rain-makers—A death-dealing zogo—
Mummies—Skull-divination—Purchasing skulls
—A funeral Page 71-94
CHAPTER VII
KIWAI AND MAWATTA
Leave Murray Island in the Nieue—Daru—Arrive at Page 95-116
Saguane—Mission-work—Visit Iasa—Long
 clan houses—Totems and totemistic customs—
Bull-roarers and human effigies as garden
charms and during initiation ceremonies—
Head-hunting—Stone implements—Origin of
Man—Origin of Fire—Primitive dwellings at Old
Mawatta—Shell hoe—Katau or Mawatta—
Election of a chief—A love story—Dances—
Bamboo beheading-knife
CHAPTER VIII
MABUIAG
Mabuiag revisited—Character of the island—
Comparison between the Murray Island and
Mabuiag natives—Barter for skulls—Economic
condition of Mabuiag—Present of food—Waria,
a literary Papuan—Death of Waria’s baby—
Method of collecting relationships and
genealogies—Colour-blindness—The Mabuiag
language—A May Meeting followed by a war-
dance Page 117-131
CHAPTER IX
TOTEMISM AND THE CULT OF KWOIAM
Totemism in Mabuiag—Significance of Totemism—
Advantage of Totemism—Seclusion of girls—
The Sacred Island of Pulu—The scenes of
some of Kwoiam’s exploits—The Pulu Kwod—
The stone that fell from the sky—The Kwoiam
Augŭds—Death dances—Test for bravery—
Bull-roarer—Pictographs—The Cave of Skulls
—The destruction of relics—Outline of the Saga
of Kwoiam—Kwoiam’s miraculous water-hole—
The death of Kwoiam Page 132-147
CHAPTER X
DUGONG AND TURTLE FISHING
A dugong hunt—What is a dugong?—The dugong Page 148-157
 platform—Dugong charms—Turtle-fishing—
How the sucker-fish is employed to catch turtle
—Beliefs respecting the gapu—The agu and
bull-roarers—Cutting up a turtle
CHAPTER XI
MARRIAGE CUSTOMS AND STAR MYTHS
Marriage Customs: How girls propose marriage
among the western tribe—A proposal in Tut—
Marital relations—A wedding in church—An
unfortunate love affair—Various love-letters.
Star Myths: The Tagai constellation—A stellar
almanack, its legendary origin—The origin of
the constellations of Dorgai Metakorab and Bu
—The story of Kabi, and how he discovered
who the Sun, Moon, and Night were Page 158-169
CHAPTER XII
VISITS TO VARIOUS WESTERN ISLANDS
Our party breaks up. Saibai: Clan groupings—
Vaccination marks turned to a new use—Triple-
crowned coconut palm—A two-storied native
house. Tut: Notes of a former visit—Brief
description of the old initiation ceremonies—
Relics of the past. Yam: A Totem shrine. Nagir:
The decoration of Magau’s skull “old-time
fashion”—Divinatory skulls—The sawfish
magical dance—Pictographs in Kiriri.
Muralug: Visit to Prince of Wales Island in
1888—A family party—War-dance Page 170-189
CHAPTER XIII
CAPE YORK NATIVES
Visit to Somerset—Notes on the Yaraikanna tribe—
Initiation ceremony—Bull-roarer—Knocking out
a front tooth—The ari or “personal totem” Page 190-194
 CHAPTER XIV
A TRIP DOWN THE PAPUAN COAST
The Olive Branch—Passage across the Papuan
Gulf—Delena—Tattooing—A Papuan amentum
—A sorcerer’s kit—Borepada—Port Moresby—
Gaile, a village built in the sea—Character of
the country—Kăpăkăpă—Dubus—The Vatorata
Mission Station—Dr. and Mrs. Lawes—Sir
William Macgregor’s testimony to mission work
—A dance Page 197-210
CHAPTER XV
THE HOOD PENINSULA
Bulaa by moonlight—Hospitality of the South Sea
teachers—Geographical character of the Hood
Peninsula—Kalo—Annual fertility ceremony at
Babaka—Canoe-making at Keapara—The
fishing village of Alukune—The Keapara bullies
—Picking a policeman’s pocket—Tattooing—A
surgical remedy—Variations in the character of
the Papuan hair—Pile-raising—Children’s toys
and games—Dances—Second visit to Vatorata
—Visit Mr. English at Rigo Page 211-234
CHAPTER XVI
PORT MORESBY AND THE ASTROLABE RANGE
Port Moresby—Ride inland—Vegetation—View from
the top of Warirata—The Taburi village of
Atsiamakara—The Koiari—Tree houses—The
Agi chief—Contrasts—A lantern show—The
mountaineers—Tribal warfare—The pottery
trade of Port Moresby—The Koitapu and the
Motu—Gunboats Page 235-251
CHAPTER XVII
THE MEKEO DISTRICT